Regulatory Reporting Dashboard

Regulatory Reporting Dashboard
January, 2017

2
Table of Contents
Copyright © 2017 Accenture All rights reserved.
Dashboard Summary
Financial Reporting
Process Capability Model
High Performance Regulatory
Reporting Framework
Regulatory Reporting Dashboard3
4
5
6
What is a Dashboard? 7
Dashboard Development Process 8
Identify Capabilities for Improvement 9
Develop Operational Metrics 10
Develop Operational Metrics – Sample 11
Gather Dashboard Data Requirements 12
Develop, Test, Implement 13
Accelerators 14
Developed Comprehensive Capital
Analysis and Review Metric - Example
15

• Transparency into data and information
• Monitor improvements in data quality
• Timely and inaccurate report outputs
• Manual sourcing of information and straight
through processing
• Measure current operations
• Document and monitor improvement and change
• Track to business objectives
• Make quick business decisions based on key ratios
With the new and the ever complex external
reporting landscape, financial institutions are
faced with a variety of challenges to monitor
their process:
Consequently, they require a solution to gain
insight to approved information and provide
improvement over time:
3
Dashboard Summary
The financial reporting frameworks and enhancement process capabilities are being reconsidered across
the financial services industry to address an evolving and dynamic regulatory environment.
Accenture offers an Internal and External Regulatory Reporting Framework with a wide variety of offerings to aid clients in solving new and
complex challenges with solutions that focus on data quality, data sourcing and centralized capabilities that can creating efficiencies
within the process.

4
High Performance Financial Reporting Framework
Consolidating internal and external frameworks, processes, and technology can create efficiencies
across reporting functions.
Reporting: External / Internal
• Same data can be used to populate reports across the
regulatory landscape and for internal purposes, thus
reducing redundant activities
Reporting: MIS / Shareholders
• Reporting results become more accurate and financial
results can be produced faster
Reporting: Functions
• Cross function transparency is created allowing for
dynamic integration of new systems
BrokerDealer
AssetManagement
Insurance
CapitalMarkets
Bank
Reporting Regulatory (External)
OCC
FDIC
NCUA
FRB
SEC
CFTC
CFPB
FHFA
FINRA
NAIC
ESFS
Basel
Functions
Risk
Treasury
Finance
Human Resources
Control
Line of Business
External Data (Market)
Legal
Process: Workflow and Requirements
• Straight through processing of information across all
systems to meet reporting needs
Support: Organization
• Overarching controls and governance to manage risk and
well communicated roles and responsibilities
Support: Technology
• Seamless user experience to investigate, manage risk,
and create new information and data
Benefits of Consolidation
Internal Management Information System (MIS)
and ShareholdersInformational
Sr. Management
Operations
Board Actuals Forecasting
Support Organization Technology
Workflow ModelingPolicy
Training
RCSA
Procedures
Resource Location
Audit
Business Rules Performance Metrics
Calculators Aggregation
Web Services Reporting Engine
Technical Rules Batch Management
Process Workflows and Requirements
Sourcing and
Validation
Reconciliation Adjustments Transformation Distribution
Data
Management
Investigation and Analysis
Security / Audit / Controls
Note: Please see Legend slide for definition of acronyms

5
Financial Reporting Process Capability Model
Accenture’s standardized regulatory reporting process capability model helps accelerate the assessment of process
capabilities, and implementation of an operational dashboard to monitor improvement across the reporting framework.
Core Workflows and Requirements
Supporting Workflow
and Requirements
Level 1
Level 2
Level 3
Level 3 – Sub-Category
Security / Audit /
Control
Sourcing and
Validation
Policy / Procedures
Quality Control
Entitlements
Data Sourcing
Controls
Retention
and Archiving
Validation Rules
Quality Assurance
SecuritySourcing
ControlsBusiness
RCSAException Tracking
SOXMetrics
Operations
Audit
Reconciliation
Break Thresholds
Research
Mapping to
General Ledger
Cross Report
Resolution
Data Management
Data Quality
Metadata
Management
Lineage and
Traceability
Restatement
Data Governance
Data Approval
Controls
Data Accuracy
Rule Conformation
Datasets
Versioning
Report Preparation
External
Drill Down
Variance
Commentary
Internal
Data Mapping
Regulatory Thresholds
Attestation
Escalation Criteria
Escalation Tracking
Report Submission
Capital Thresholds /
Materiality
Adjustments
Transaction
Manual Upload
Adjustment Inventory
Adjustment Approval
Aggregated Data MaskingTechnical
Transformations
Model Definition /
Enhancement
Pro Forma
Formulas
Error Resolution
Report Changes /
Maintenance
Calculations
Derivation Rules
Aggregation
Aggregation Rules
Model Governance
Model Approval
Derivations
Investigation
and Analytics
Canned
Operational Dashboard
Reports
Ad Hoc
Analytics
Performance
Market
Risk
Capital Management
Capital Results
Narrative

Regulatory
Reporting
Dashboard
Standard dashboard
components measuring
the effectiveness of data
processing, improvement
over time and tracking to
key business reporting
objectives.
• Increase automation
• Improve report
accuracy
• Improve data quality
• Reduce time to change
• Reduce manual data
6
Accenture Regulatory Reporting Offerings
Accenture has developed a set of seven key regulatory offerings to tackle current challenges
in the regulatory reporting space.
DescriptionValueProposition
Data Quality
Management
Develop standard data
quality management
operating model
(framework) for
the identification,
investigation, and
resolution of data
quality issues.
• Improve report
accuracy
• Reduce regulatory
actions
User Tool
Assessment
Approach
Develop an approach
for the assessment
of manual tools for
determining a tactical
and strategic elimination
strategy.
• Improve report
accuracy
Capability
Design and
Data Sourcing
Develop and design
reporting processes and
capabilities. Document
key steps for data
processing, populating
reports and collecting
key reporting data
attributes.
• Improve governance
• Increase data
transparency
• Reduce risk
• Improve time to report
Integrated
Reporting Tool Set
Implementation
Framework outlining
the standard process,
capabilities and
technology components
required to streamline
reporting and centralize
finance data for straight
through processing.
• Improve report
accuracy
• Improve staff usage
Target Operating
Model and
Governance
Create target operating
model and governance
structure for regulatory
reporting capability to
allow for clear roles
and responsibilities,
ownership, process
documentation,
and governance.
• Increase ownership
• Improve governance
• Reduce redundant
processes and controls
Regulatory
Reporting Vendor
Implementation
Support a client’s
implementation
of regulatory reporting
tools through vendor
selection, business and
functional requirement
gathering, tool
configuration, and
testing / go live support.
and functionality
• Improve report
accuracy
• Reduce manual
controls

7
What is a Regulatory Reporting Dashboard?
A dashboard creates insight into the current processing of data for report population and
supports the trending and measurement of data improvement and efficiencies over time.
Illustrative
Dashboard View
Sourcing
• Attendance Tracking
• Validation Errors
• Exception Processing
Transformation
• Logic Accuracy
• Core Data Acceptance
Data Management
• Governance through
the Reporting
Workflow
• Control Monitoring
Report Preparation
• Dataset Completion
Tracking
• Approval / Attestation
Adjustments
• Workflow status
• Reconciliation Breaks
• Data Errors
• Adjustment Tracking
• Monitor improvement to adjustments from:
• Sourcing issues
• Validation errors
• Reconciliation breaks
• Transformation outputs
• Identify process / capability slow downs
Decision Tool (Metrics Insight)
• View key ratios during construction for informing quick
business decisions
• Capital management ratios
• Balance sheet
• Income statement
• Pro forma
Quality Control Tool (Issue Improvement)
Cost Reduction Tool
• Transparency into the integrated process
• Analyze people and data performance
• Process audit quality assurance / quality control
• Attestation monitoring sign-offs and other controls
• Consistency with other reporting
Management Tool (Operational Monitoring)
Reduce Reporting Costs by:
• Proactively enhancing process and
supporting capabilities
• Reducing regulatory actions / response
• Improving governance and reducing risk
• Reducing data quality issues and associated overhead

8
Regulatory Reporting Dashboard Development Process
Dashboard development begins with the assessment of target state business goals driving
the development of the dashboard.
Define “Success”
Measures
DeliverablesActivities
• Final dashboard• Data requirements• “Success” measures
matrix
• Operational measures
matrix
• Current state workflows
• Target state workflows
• Prioritization
• Roadmap
• Conduct stakeholder
interviews
• Document current and
target state
• Identify areas of
opportunity
• Develop roadmap for
change
• Review vendor solutions
Activity Metrics:
• Define the
measurement of the
reporting process
Effectiveness Metrics:
• Track the effectiveness
of the activity metrics
over time
Results Metrics:
• Measure “success”
against target state
• Reduce errors and
decrease time to report
Gather Requirements:
• Business logic
• Business terms and
definitions
• Physical data
• Analyze
• Data sourcing gaps
• Enhance
• Tactical and strategic
sourcing solutions
• Develop final
dashboard
• Document testing plan
• Execute testing
• Implement final
dashboard
Identify Capabilities
for Improvement
Develop Operational
Metrics
Gather Dashboard
Data Requirements
Develop, Test,
Implement

9
Regulatory Reporting Dashboard – Identify Capabilities for Improvement
Assessment of capabilities helps identify key areas for improvement, target tactical and strategic objectives,
and prepare roadmap for change.
Document Current
and Target State
Document the current state work flows to
facilitate the construction of a target state
documenting key controls, key performance
indicators (KPIs) and service level agreements
(SLAs) required in the process.
Discovery
Review current work documentation,
policies, procedures, and associate
artifacts. Conduct discovery meetings
with key stakeholders and areas.
Define Areas of Opportunity
Identify areas of opportunity based on
observations in the current state. Develop
categories and themes to prioritize
opportunities meeting organization needs.
Develop Roadmap for Change
Organize opportunities into meaningful
work streams and build timelines to meet
tactical (quick wins) and strategic objectives.
Review Vendor Solutions
Develop requirements as a result of the
target state process design to facilitate the
evaluation of a vendor solution.
Define “Success” MeasuresIdentify Capabilities for Improvement Develop Operational Metrics
Gather Dashboard
Data Requirements
Develop, Test, Implement

10
Regulatory Reporting Dashboard – Develop Operational Metrics
Dashboards should contain three types of metrics to provide foresight, insight and hindsight
into operations and results.
Remediation
Foresight
Insight
Hindsight
New Issue
Issue Analysis
Activity Metrics:
Measurement of current status via Dashboard
Effectiveness Metrics:
Measurement of change over time via Dashboard
Result Metrics:
Measuring “success” against target state goals
Cleansing TransformationSourcing Approval Distribution
Gather Dashboard
Data Requirements
Change in
Data Accuracy
Improvement in
Reconciliation
Transformation
Outputs
Change in Bus. Metrics (e.g. Risk-
Weighted Assets / Capital Ratios)
Reduced
Reporting Cost
Improved Report
Accuracy
Streamlined
Data Processing
Reduced Manual
Intervention
Managing
Data Quality

11
Regulatory Dashboard – Develop Operational Metrics
Dashboards should contain three types of metrics to provide foresight, insight and hindsight
into operations and results.
Sample Metrics Foresight Insight Hindsight
Measurement of Current Status
Data Sourcing / Processing Status 
Validation / Transformation / Reconciliation / Adjustment Status 
Variance Commentary and Data Approval Status 
Data Readiness / Reporting Tool Data Distribution Status 
Measurement of Change Over Time
Data Sourcing SLA / Technical and Business Validation Exception Trends (on sourced, adjusted, transformed data) 
Adjustment Trends (by product, line of business (LOB), etc.) 
Reconciliation Break Trends 
Transformation Model Performance (e.g. calculation error trending) 
Time To Approve Data (cleansed data) 
Timing Integrated Process (sourcing to report distribution) 
Measurement of “Success” Against Target State
Improve Report Accuracy 
Reduce Reporting Costs 
Reduce Manual Intervention 
Improve Managing Data Quality 
Gather Dashboard
Data Requirements
Illustrative
Sample

12
Regulatory Dashboard – Business Metrics – Comprehensive Capital Analysis
and Review (CCAR) 14Q-A
A CCAR dashboard could contain key attributes that provide real-time information as metrics
are being developed for decisions.
Attestation Deficiency Categories
Error Thresholds are based on Bank Holding Company Severely Adverse Stressed Capital Ratios
Impact (%) Impact ($) Impact (bps)
Impact to Tier 1 Capital
High > 2.5% > $1 bn > 20 bps
Medium 1.75-2.5% $0.75-1 bn 15-20 bps
Low 1-1.75% $0.5-0.75 bn 10-15 bps
Beneath Thresholds < 1% < $ 0.5 bn < 10 bps
Impact to Total RWA
High > 2.5% > $12 bn > 30 bps
Medium 1.75-2.5% $9-12 bn 20-30 bps
Low 1-1.75% $5-9 bn 10-20 bps
Beneath Thresholds < 1% < $ 5 bn < 10 bps
Impact of Total Assets
High > 2.5% $19 bn > 12 bps
Medium 1.75-2.5% $13-19 bn 10-12 bps
Low 1-1.75% $8-13 bn 5-10 bps
Impact to Total Supplementary Leverage Ratio (SLR) Average Assets
High > 2.5% $28 bn > 10 bps
Medium 1.75-2.5% $20-28 bn 6-10 bps
Low 1-1.75% $11-20 bn 3-6 bps
Gather Dashboard
Data Requirements
This is an example using fictitious data points.
Illustrative
Example

13
Regulatory Dashboard – Gather Dashboard Data Requirements
Data should be defined, gathered, analyzed and enhanced to help maintain accurate
and impactful dashboard results.
Define Gather
AnalyzeEnhance
1 2
4 3
Validate
Validate
Validate
Validate
Define Dashboard Purpose
• Define a business need for the dashboard
(e.g. regulatory response, data governance,
reduced operating costs, or risk reduction).
• Develop a business use (e.g. enhanced
analytics, traceability, adjustments to data,
improved data quality, report accuracy).
Enhance Performance
• Develop tactical and strategic sourcing
solutions to address identified gaps.
• Put an evergreen process in place to help
govern future data changes.
Gather Data Requirements
• Outline system flow to organize a detailed
collection of data from the providing systems.
• Define business attributes
(Names and definitions) to map from a target
to a source system.
• Collect physical data attributes to facilitate
the population of report / dashboard.
Analyze Data Requirement Gaps
• Identify data sourcing gaps to populate
report / dashboard.
• Validate business and technical data
to help maintain accuracy.
Gather Dashboard
Data Requirements

Design Backlog
14
Regulatory Dashboard – Develop, Test, Implement
Standard development practices allow for the timely implementation of a new dashboard.
Gather Dashboard
Data Requirements
Plan Define Analyze Improve Control
Business Goals
• Project scope defined
• Project charter developed
• Business case created
High Level Requirements
• Process maps as inputs
• Data attributes as inputs
• High level functional
requirements as inputs
1
Workstream Initiation
Create workstream
charter.
Conduct Assessment
Identifying risks,
estimating effort, and
determining required
skillsets.
Develop Iteration Plan
2
Design Backlog
Design 1
Design 1
Feature Set
2
Design 2
Design 2
Feature Set
4
4
Design 2
Design 2
Feature Set
Develop1
Develop2
Develop3
SIT
UAT
Design Iteration Development IterationIteration Review
3
Define Tollgate Design Sub-tollgate Improve Tollgate
Cross-functional business, technology and change teams are assembled to begin high-level scope and requirements gathering.1
Scope is divided in feature sets. User stories/reqs. are documented and prioritized into design iterations.2
Prototypes are developed and tested with business leads to validate requirements.3
Validated requirements are entered into the development backlog for development iterations. Prototypes are used in conjunction with reqs in build.4

15
Regulatory Dashboard – Accelerators
Accenture’s previous experience in project execution and development of operational dashboards
has resulted in many accelerators to help quickly organize and execute.
Implementation Planning Methodology
Functional and Technical Requirements
Practices and Tools
Standardized Dashboard MetricsStandard Reporting Capability Model
Vendor Assessment Scorecard and Methodology
Predefined Requirements Gathering Methodology
Follows a methodology based on criteria
derived from industry requirements in order
to facilitate planning.
Supports the technical / functional requirements
for project planning.
Assessment tool provides questions and analysis
instruments to be applied according to the firm’s
priorities and requirements.
Predefined operational and business results
metrics developed through industry experience.
The framework to assess and develop solutions
for an improved regulatory reporting process.
Templates and prior experience, sourcing
information for report population.

16
Legend
CFPB: Consumer Financial Protection Bureau
CFTC: U.S. Commodity Futures Trading Commission
ESFS: European System of Financial Supervision
FDIC: Federal Deposit Insurance Corporation
FHFA: Federal Housing Finance Agency
FINRA: Financial Industry Regulatory Authority
FRB: Federal Reserve Board
NAIC: National Association of Insurance Commissioners
NCUA: National Credit Union Administration
OCC: Office of the Comptroller of the Currency
RCSA: Risk Control Self Assessment
SEC: U.S. Securities and Exchange Commission
SIT: System Integration Testing
SOX: Sarbanes-Oxley Act
UAT: User Acceptance Testing

17
Regulatory Reporting Dashboard
Copyright © 2017 Accenture All rights reserved. Accenture, its logo, and High Performance Delivered are trademarks of Accenture.
Disclaimer
This presentation is intended for general informational purposes only and does not take into account the reader’s specific
circumstances, and may not reflect the most current developments. Accenture disclaims, to the fullest extent permitted
by applicable law, any and all liability for the accuracy and completeness of the information in this presentation and for
any acts or omissions made based on such information. Accenture does not provide legal, regulatory, audit, or tax
advice. Readers are responsible for obtaining such advice from their own legal counsel or other licensed professionals.
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